0001209191-21-019531.txt : 20210310 0001209191-21-019531.hdr.sgml : 20210310 20210310170524 ACCESSION NUMBER: 0001209191-21-019531 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210308 FILED AS OF DATE: 20210310 DATE AS OF CHANGE: 20210310 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Nesi Victor CENTRAL INDEX KEY: 0001470453 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09305 FILM NUMBER: 21730654 MAIL ADDRESS: STREET 1: 650 MADISON AVENUE, 19TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: STIFEL FINANCIAL CORP CENTRAL INDEX KEY: 0000720672 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 431273600 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: ATTN: JAMES G. LASCHOBER STREET 2: 501 N. BROADWAY CITY: ST. LOUIS STATE: MO ZIP: 63102-2102 BUSINESS PHONE: 314-342-2000 MAIL ADDRESS: STREET 1: ATTN: JAMES G. LASCHOBER STREET 2: 501 N. BROADWAY CITY: ST. LOUIS STATE: MO ZIP: 63102-2102 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2021-03-08 0 0000720672 STIFEL FINANCIAL CORP SF 0001470453 Nesi Victor 787 7TH AVENUE NEW YORK NY 10019 0 1 0 0 Co-President Common Stock 2021-03-08 4 S 0 11249 64.42 D 212000 D Common Stock 2021-03-08 4 M 0 35351 0.00 A 247351 D Common Stock 2021-03-08 4 M 0 15745 0.00 A 263096 D Common Stock 2021-03-08 4 F 0 25022 64.76 D 238074 D Common Stock 18574 I by Trust Common Stock 37500 I GRAT trust Phantom Stock Units 0.00 2021-03-08 4 A 0 19681 0.00 A Common Stock 19681 113520 D Phantom Stock Units 0.00 2021-03-08 4 M 0 35351 0.00 D Common Stock 35351 78169 D Phantom Stock Units 0.00 2021-03-08 4 M 0 15745 0.00 D Common Stock 15745 62424 D Open market sale pursuant to a 10b5-1 trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. On March 8, 2021, the shares indicated in this row were delivered to the reporting person based on the PRSU award agreement dated March 2, 2017. These units are being issued based on the PRSU award agreement dated March 2, 2017. Of these units, 80 percent are currently vested and the remaining 20 percent will vest on March 2, 2022. No expiration date for these Units. Currently exercisable. /s/ Victor Nesi 2021-03-10